Introduction To Compliance

Available Indexes

Other Relevant Mods

This course aims to provide you with a broad understanding of the role of compliance in financial
institutions and introduce you to the common issues in the space of regulatory and financial
compliance.
Course topics include understanding the financial services sector, the role of compliance within
financial institutions, the financial regulatory environment and requirements, compliance risks,
anti-money laundering risks, and the importance of well-designed and effective control
mechanisms. The course will also explore the impact of financial technology (FINTech) and
regulatory technology (REGTech) advancements on the compliance landscape.
This course is accredited by the Institute of Banking and Finance (IBF) and students who obtain an
overall score of B and above will be accredited for IBF?s Level 1 Compliance Standards.

AUs	3.0 AUs
Exam	N/A
Grade Type	N/A
Maintaining Dept	N/A
Prerequisites	AB1201 or or BU5201 (Min Grade :B+)
Mutually Exclusive With	BF2213
Not Available To Programme	N/A
Not Available To All Programme With	(Admyr 2011-2020)
Not available as Core for programmes	N/A
Not Available as PE for programmes	N/A
Not Available as BDE/UEs for programmes	N/A
Not Offered To	N/A

Total hours per week: 3 hrs

00206 SEM (1)
0930-1220 Fri
S3-B3C-CSI

00207 SEM (2)
0930-1220 Sat
S3-B3C-CSI

BF2100

Ethics In The Investment Profession

BF2201

Investments

BF2206

Wealth Management

BF2209

Derivative Securities

BF2213

Introduction To Compliance

BF2214

Fintech In Investment Management

BF2216

Trade Incoterms & Ship Chartering

BF2218

Commodity Markets

BF2219

Investments